Do socio-psychological factors matter in agroforestry planning? Lessons from smallholder traditional agroforestry systems

Most of the well planned rural development forestry programs of the 1970s, and agroforestry in particular, were either not adopted by the intended beneficiaries or failed to meet the needs and aspirations of the rural people, particularly in the developing countries. The reasons for non-adoption in some cases appear to be technical, bio-physical, social and economic (termed as rational reasons by the planners), but in other situations the reasons are not so easily recognisable and comprehended (termed irrational reasons). These irrational reasons are the perceptions and attitude of the farmer towards farm practices, and their role in agroforestry planning has remained almost completely neglected. The present study is based on a household survey of the farmers in traditional agroforestry systems of Western Himalaya and investigates the importance of perceptional and attitudinal aspects of the farmers with regard to agroforestry adoption and extension. In the present study, farmers’ perceptions of restrictions on felling of trees from their own land and attitudes towards agroforestry were the most important sociopsychological factors which influenced tree growing. This study implies a need to take into account the socio-psychological factors of the farmers for planning socially acceptable agroforestry programs. The importance of study of various de jure rules and regulations controlling the use of on-farm tree resources and related exemptions and their association with farmers’ perceptions and tree growing is highlighted to develop policies to encourage tree growing in agroforestry.     

Identifying important biophysical and social determinants of on-farm tree growing in subsistence-based traditional agroforestry systems

Many expert-designed agroforestry projects enunciated in 1970s around the world, particularly in the developing countries, had uneven success due to inadequate adoption or abandonment after adoption. There are many empirical studies on factors affecting on-farm tree cultivation mainly where expert-designed agroforestry programmes were introduced but lacking in case of traditional agroforestry. Moreover, the concern to identify key factors influencing on-farm tree growing is gaining importance. The present study identifies key factors in on-farm tree growing based on investigation of traditional agroforestry using logistic regression approach. The study is based on household survey of 401 households located in Indian Western Himalaya. The factors affecting on-farm tree growing were grouped into: biophysical (included land use and infrastructural aspects) and social. Models predicting on-farm tree growing for each category were developed and key factors affecting on-farm tree growing in the respective category were identified. A composite model was also developed by combining biophysical and social factors. In the present study, farm size, agroclimatic zone, soil fertility, mobility and importance of tree for future generations respectively were the key factors which influenced tree growing. In contrast to many previous studies which considered either biophysical or social factors, the composite model in the present study reveals that both biophysical and social factors are simultaneously important in motivating the farmers to grow trees on their farms in traditional agroforestry. Moreover, the present study open vistas for using farmers’ experience and knowledge of adoption of agroforestry to stimulate on-farm tree growing. The wider implication of the study is that biophysical as well as social variables should be considered together in designing suitable agroforestry systems in various parts of the world.     

Agroforestry education

Development of agroforestry education is following the pattern of evolution of some other areas of study such as plant pathology, genetics, and statistics. At universities these three areas began within another department or departments, and after being moved into their own departments began to flourish and develop their own identity. However, the main question is what can or should be done to further the process? The increasing number of agroforestry projects in the world, the lack of trained agroforesters, and the estimated increased need for agricultural scientists are all indicators for the future demand for trained agroforesters. Career opportunities for professional agroforesters lie in three areas: as research scientists, as extension agents, or as development agroforesters. Two broad educational approaches to setting educational objectives are to (1) set objectives on the basis of the perceived problems likely to be encountered in agroforestry and (2) set objectives according to roles which agroforesters are likely to assume. The design of both undergraduate and postgraduate curricula are discussed. The unique core is the agroforestry system per se and the development of a systems analysis methodology. The institutional structure and clear goal definition can facilitate the development of an agroforestry program, but in the final analysis it is the dedication and enthusiasm of the individual staff that will count for success.     

Developing farmer and community capacity in Agroforestry: is the Australian Master TreeGrower program transferable to other countries?

The Australian Master TreeGrower (MTG) program was launched in 1996 as an agroforestry extension initiative of The University of Melbourne. The program included a short course for landholders that provided knowledge and practical skills but also had a strong focus on developing the information and peer networks that would provide them, and their community, with on-going support as they implement their agroforestry activities. Since 2010 the MTG has been delivered by The Australian Agroforestry Foundation, a not-for-profit organisation, and integrated with the Peer Group Mentoring (PGM) concept developed by a regional farmer group in Australia. The PGM trains, then pays, past Master TreeGrowers to support other landholders as they design and develop their own agroforestry projects. More than 100 MTG courses have been run across Australia involving over 2000 landholders and more than fifty partner organisations. Independent evaluation shows that participants enthusiastically support the program, increase the area of tree cover on their land, adopt more intensive or purposeful management practices, are more inclined to want to grow trees for a mix of both public and private good outcomes, and, actively encourage others in their community to do the same. This paper reviews the development and delivery of the MTG and PGM in Australia and explores whether the models are transferable to developing countries. To date four MTG courses have been conducted in Africa (Uganda (2) and Niger (2)), seven in Indonesia and one in Timor-Leste. Whilst the structure of the international MTG courses was different to that commonly adopted in Australia the content was similar in that they included: information to support the development and implementation of agroforestry designs that reflect their particular interests and aspirations; a review of market opportunities for agroforestry products and services, training in tree and forest measurement, education in tree growth and silviculture; and, encouragement, guidance and support to encourage landholders to share their experience with others in their community. The response suggests that the MTG, originally developed for Australian farmers, may represent a very different model of agroforestry extension to what is commonly offered to farmers in developing countries, and that it may be worth developing in regions where farmers believe they have relatively secure land tenure and are able to make long-term land management decisions regarding tree establishment and management.     

Evolution of agroforestry based farming systems: a study of Dhanusha District, Nepal

This paper examines how agroforestry-based farming systems evolved in the Dhanusha district of Nepal following the conversion of forest into agriculture during the early 1950s. Some data are from two focus group discussions with agroforestry farmers and one meeting with agroforestry experts. The farmers?? discussion traced the development of farming practices from 1950 to 2010 to identify the drivers of land use change. The experts?? discussion resulted in a scale to differentiate the prevailing farming systems in the study area considering five key components of agroforestry: agricultural crops, livestock, forest tree crops, fruit tree crops and vegetable crops. Data related to the system components were collected from the randomly selected households. The study reveals that land use had generally changed from very simple agriculture to agroforestry, triggered by infrastructure development, technological innovations, institutional support (subsidies and buy-back guarantees) and extension programs. A range of farming systems with varying degrees of integration was evident in the study area: simple agriculture; less integrated agroforestry; semi-integrated agroforestry and highly integrated agroforestry. The three types of agroforestry systems, which are the focus of this study, varied significantly in terms of farm size, cropping intensity, use of farm inputs, tree species diversity, tree density, home to forest distance and agricultural labour force.     

Classifying tree planters and non planters in a subsistence farming system using a discriminant analytical approach

Since the 1970s tree planting has been promoted to meet the multipurpose needs of subsistence farmers and to arrest deforestation in many developing countries. Financial support and extension systems were developed as tree growing outside the forest became more important. The limited success of the forest extension approaches used in the 1980s has been attributed to the failure to ascertain householders' priorities and attitudes to tree growing. Although the broader theoretical paradigm of factors influencing householders' planting of trees has been discussed household and regional level analyses are rare. This study used discriminant analysis to assess the extent to which social and economic factors affect smallholder farmer tree planting in Orissa, eastern India. The validity of the predictive model to define the different groups was tested by assessing the accuracy of classification. The significance of the factors was probed using the identified variables in the discriminant functions developed for smallholder farmers in the coastal and inland zones of Orissa. The results contradicted some common assumptions that only large landowners with a substantial income are innovators. The likelihood of adopting agroforestry is dependent on the progressive attitude of farmers, membership of village organisations, their wealth status and, more importantly, their perceived risk concerning agricultural production. This approach enables tree planters and non-planters to be characterised and hence give better targetting of planning and social forestry programmes.This revised version was published online in November 2005 with corrections to the Cover Date.     

Agroforestry Tree Seed Production and Supply Systems in Malawi

A sustainable agroforestry tree germplasm supply system is vital to resource-constrained smallholder farmers who depend on agroforestry to improve the productivity of their farm enterprises. Successful adoption of agroforestry hinges on the development of a sustainable agroforestry tree germplasm supply system. This paper reviews the agroforestry tree seed supply system in Malawi, with a view to determining its sustainability and quality. Currently, more than 90% of the documented agroforestry tree seed distributed to farmers is produced by smallholder farmers collected mainly from scattered farmland trees, the remainder being produced from seed orchards and seed stands owned or controlled by research organizations. Three organizations—namely the Land Resources Centre (LRC), National Tree Seed Centre (NTSC) of the Forestry Research Institute of Malawi (FRIM) and the World Agroforestry Centre (ICRAF)—were identified as major procurers of agroforestry tree seed produced by smallholder farmers. Agroforestry germplasm is distributed to farmers by non-governmental organizations (NGOs) and government agricultural and forestry extension departments. The procurement and distribution of germplasm to farmers is in general effective. The major challenge to sustainability of agroforestry tree germplasm distribution in Malawi is dependence on donor funding. The agroforestry tree seed system is, to some extent, sustainable with regards to production, although the genetic quality of the germplasm is low. Germplasm storage facilities at national level are available and possibly adequate, but knowledge and information on effective low-cost tree germplasm storage systems at household level are limited. Sustainability could be enhanced by strengthening of grass-root organizations involved in tree seed production to institutionalize the distribution through farmer–farmer exchange. There is also a need to support the development, promotion and adoption of low-cost tree germplasm storage facilities by smallholder farmers.     

Farmers participation and socio-economic effects of a watershed management programme in Central Java (Solo river basin,Wiroko watershed)

A self-help watershed management project in the densely populated areas of Central Java, Indonesia, is discussed in terms of its achievements to combine activities to improve the physical, the social and the economic environment. Without simultaneous, well-planned action on these three essential components the project's improvements cannot be sustained by the farmers. It was found that activities such as tree planting and maintenance, construction of soil erosion control structures and training in agroforestry-type intensification techniques for land cultivation serve as a focus to induce farmers to participate. Participation can be sustained in spite of initial decreasing net income if increases in land productivity based on agroforestry practices together with appropriate training programmes organize and motivate the farmers. In future watershed management programmes more emphasis may be placed on the rural development planning aspects of e.g. agroforestry techniques, and on rural community organization.This paper is based on a M.Sc. research study conducted by the first author under the supervision of the second author at the Rural Development Planning Programme of the Division of Human Settlements Development, A.I.T., Bangkok. The first author is indebted to FAO and the Canadian International Development Agency for scholarship and research grants and to his employer, the Solo Watershed Development Centre of the Indonesian Government. The second author acknowledges his secondment by the Belgian Development Co-operation Administration, Brussels. Comments of the research committee members, Prof. Dr. H. Dias and J. Piper on the research project and of anonymous referees on the paper are gratefully acknowledged. However, the responsibility for the views presented here lies solely with the authors.     

Agroforestry and forestry-related practices in the Midwestern United States

A survey, conducted in 1990–1991 on agroforestry and forestry-related systems in eight Midwestern states, showed that three traditional and three nontraditional agroforestry systems are practiced in the region. Of 46 traditional systems reported, most common was agrisilviculture (28), then silvipasture (12) and agrisilvipasture (6). These systems often involved corn, soybeans, and hay planted with tree species for nut, timber, or Christmas tree production, and cattle. Non-traditional agroforestry systems were field windbreaks/shelterbelts (29), treeshrub intercropping systems (21), and boundary plantings (11). These systems involved a variety of northern hardwood species evergreens, and shrubs. There was also a preponderance of specialized systems (97) of growing trees with the production of mushrooms, nuts, syrup, wildlife, and other nonwood products. The survey is exploratory in nature and, although the results may not represent a complete count of people involved with agroforestry in the region, the numbers reported may indicate where a practice may be prevalent. The results reflect the fact that much work still needs to be done by agroforesters in this region. They also provide some basis for further research on more suitable systems, and for identifying other researchable questions on agroforestry for the region. The methodology also made possible a bigger nucleus for networking of agroforesters and other interested people in the Midwest. Finally, although not normally considered as agroforestry, the significance of the other specialized systems reported in this survey is that they offer varied ways of connecting forestry with other activities in a largely agricultural landscape, and that they may even be seen as opportunities for easier transition into agroforestry.     

Financial analysis of agroforestry land uses and its implications for smallholder farmers livelihood improvement in Ethiopia

A study was conducted in central highland Ethiopia to: (1) assess the financial feasibility and relative financial attractiveness of three agroforestry practices (small-scale woodlot, homestead tree and shrub growing and boundary tree and shrub growing); (2) evaluate the impacts of implementation of these land uses on farm households income and (3) identify the constraints for the implementation and expansion of the agroforestry practices. Then, 82 different land uses (21 small-scale woodlots, 35 homesteads and 26 boundary plantings) which were older than 15 years and established by the current owner were selected for the financial analysis. The input and output data were filled in a data sheet by face-to-face interview with the owners. The results showed that small-scale woodlot is the most profitable agroforestry practice followed by boundary plantings and homesteads. An ex-ante analysis of implementing the agroforestry practices showed that with minimum land area allocated for the practices, a household can generate net discounted revenues ranging from 5,908 to 26,021 Ethiopian Birr (532–2,342 USD) in 15 years at 10 % interest rate. Hence, the expansion of such agroforestry practices has a vital effect on farm household’s income. Lack of proper planning and poor in-depth understanding about roles of trees and shrubs for household’s income, land and seedling shortage, financial constraints and labor scarcity were identified as major problems for the expansion of agroforestry practices in the area. A thorough extension service comprising both efficient land resources utilization and proper planning practices could enhance the expansion of agroforestry practices and thereby positively influence the farmer’s livelihood.     

Agroforestry farming systems in the homesteads of Kerala,southern India

Kerala State on the southwestern coast of India in the tropical humid zone has a predominantly agricultural economy, a very high density of population and therefore high pressure on cultivable land. The farmers there undertake cultivation of an array of crops — tree crops, plantation crops, seasonals and biennials — all in intimate mixtures on the same piece of land around the homesteads. Farm animals and poultry and sometimes fisheries also are essential components of the system. The close association of agricultural crops, tree crops and animals in the homesteads represents an excellent example of sustainable and productive agroforestry homegardens. Optimum utilization of available resources of land, solar energy and technological inputs and an efficient recycling of farm wastes are important characteristics of the systems. This paper attempts to describe and evaluate the systems' stability, productivity and sustainability, and identify its merits and constraints as well as research needs.     

Bringing Agroforestry Technology to Farmers in Leyte, the Philippines: A Comparison of Two Extension Assistance Regimes

The response of farmers to personalised forestry and agroforestry extension assistance has not been well documented in the Philippines, thus providing the impetus for this research in which the effectiveness of extended on-farm assistance was compared with more limited assistance. In four municipalities in Leyte Island, farmers responded positively to an extended program which helped them overcome problems in germinating and growing seedlings and establishing trees on their land. A limited assistance program which sought to make use of farmers’ familiarity with growing and raising plants was relatively unsuccessful, with less preparation of tree planting sites and a higher rate of abandonment. Allowing farmers freedom to select planting sites and aspects of technical advice which suited their personal circumstances, encouraged a high degree of cooperation between extension staff and farmers, but 38% of farmers neglected post-planting weed control and 35% of sites were inappropriate for growing trees. Destruction of sites by flooding and grazing also caused farmers to blame extension staff even though these risks had been discussed with them beforehand. This suggested that a more interventionist approach would be appropriate for site selection although it may reduce recruitment. The number of farmers recruited through local government staff was low, but attendance by neighbours at locally held demonstrations was high, suggesting an avenue for further recruitment. Overall, the program was successful in shifting the initiative for further planting from extension staff to those farmers who received extended extension assistance.     

Agroforestry practices of non-industrial private forest landowners in Washington State

A mail survey was conducted to gain understanding of the agroforestry practices of non-industrial private forest landowners (NIPF) in Washington State, located in the north-western USA. Although NIPF owners control 1.5 million hectares of the state's commercial forestland base, their diversity of forestland uses, land management practices and objectives as land managers are not well understood. Past NIPF surveys and anecdotal information suggest agroforestry is a major use of NIPF lands. We defined agroforestry as a potentially sustainable land use practice combining the deliberate growing of woody perennials with agricultural crops and/or animals. Objectives of this study were to:

1. determine the extent that agroforestry is used by Washington's NIPF owners,
2. develop insight into NIPF owners' motivations for practicing agroforestry,
3. describe the agroforestry practices within three distinct physiographic and agroecological zones in Washington, and
4. determine the agroforestry information needs of NIPF owners.

The target population consisted of NIPF owners in 4 counties within each of the three regions. Response to the August 1990 mail survey was 63.5%, yielding 296 useable questionnaires. Fifty-seven percent of all respondents practice agroforestry. Forestland grazing is the most common agroforestry practice (39% of all respondents), followed by windbreaks (34%), harvest of special forest products (12%), livestock enrichment plantings for forage or shelter (7%), orchard grazing (5%), orchard intercropping (2%), and Christmas tree grazing (0.34%). The most frequent motives for owning land were passing land on to children (80%), keeping it natural and income from timber (both 72%). Respondents saw aesthetics (77%), increasing land unit income (74%), and water conservation (70%) as possible advantages of practicing agroforestry. High establishment costs (66%) and livestock damage to trees or crops (64%) were the most frequently selected potential disadvantages to practicing agroforestry. Lack of technical and educational support (67%) and lack of access to livestock/livestock facilities (58%) were disincentives to practicing agroforestry. Landowners are interested in learning more about agroforestry and how agroforestry techniques might be incorporated in their land management tool kit. A significant number of non-industrial private forest land owners in Washington believe that management of forestland, balancing conservation and production goals, can be furthered by suitable agroforestry practices.     

Selection of native trees for intercropping with coffee in the Atlantic Rainforest biome

A challenge in establishing agroforestry systems is ensuring that farmers are interested in the tree species, and are aware of how to adequately manage these species. This challenge was tackled in the Atlantic Rainforest biome (Brazil), where a participatory trial with agroforestry coffee systems was carried out, followed by a participatory systematisation of the farmers experiences. Our objective was to identify the main tree species used by farmers as well as their criteria for selecting or rejecting tree species. Furthermore, we aimed to present a specific inventory of trees of the Leguminosae family. In order to collect the data, we reviewed the bibliography of the participatory trial, visited and interviewed the farmers and organised workshops with them. The main farmers’ criteria for selecting tree species were compatibility with coffee, amount of biomass, production and the labour needed for tree management. The farmers listed 85 tree species; we recorded 28 tree species of the Leguminosae family. Most trees were either native to the biome or exotic fruit trees. In order to design and manage complex agroforestry systems, family farmers need sufficient knowledge and autonomy, which can be reinforced when a participatory methodology is used for developing on-farm agroforestry systems. In the case presented, the farmers learned how to manage, reclaim and conserve their land. The diversification of production, especially with fruit, contributes to food security and to a low cost/benefit ratio of agroforestry systems. The investigated agroforestry systems showed potential to restore the degraded landscape of the Atlantic Rainforest biome.     

Farmer perspectives on agroforestry opportunities and constraints in cape verde

In the água de Gato Watershed on the island of Santiago, Cape Verde Islands, 51 farmers were surveyed regarding their attitudes and knowledge of agroforestry. The farmers identified eight constraints to agroforestry implementation, with virtually all indicating that a source of loan funds was the major concern. Space or land constraints and availability of tree seedlings were identified as constraints by 94% and 88%, respectively. Despite these concerns, 92% of the farmers expressed a willingness to adopt or improve agroforestry practices in the watershed, with 73% expressing a willingness to establish fruit trees, 53% willing to establish trees or shrubs for fuelwood, and 16% willing to plant trees for shade.     

Farmer’s Perception of and Factors Influencing Agroforestry Practices in the Indus River Basin,Pakistan

Agroforestry practices of farming communities are investigated in southern Punjab province, Pakistan. It is hypothesized that rural people of this areas are more inclined than elsewhere in the province to practice agroforestry due to greater profitability than cropping. A landholder survey revealed that the majority of farmers are inclined to plant trees on their land. Low accessibility of institutional credit is a constraint for both agroforestry farmers (AF) and non-agroforestry farmers. However, among AF respondents only 24% were found to need credit for agroforestry practice, as against nearly 76% for crop production. Mostly farmers were found to have positive perceptions regarding agroforestry practice, because they understand the multiple benefits from growing trees, compared with cropping where farmers face various constraints, including poor access to credit, natural hazards, and little support from local authorities. Further, effort to sensitize farmers that growing trees has multiple benefits compared to only cultivation of field crops can bring about change in farmer’s perceptions and attitudes in the Indus River basin, resulting in motivation for agroforestry adoption.     

The future orientation of foresters: An exploratory research among Dutch foresters into the prerequisite for strategic planning in forestry

The importance of strategic planning as an instrument to cope with the uncertain future has been long recognized, especially in forestry which is characterized by its relationship with the distant future. Surprisingly, the question to what extent the future is indeed considered in forestry decision-making has received only limited attention. It is therefore the objective of this paper to explore empirically foresters' relation with time (called time perspectives), and more specifically their future orientation, as a basic prerequisite for strategic planning in forestry. In a case study approach, Dutch foresters were questioned with Cottle's Circles Test on the role of the future in their decision-making and the extent to which their planning is merely an extrapolation of past experiences and/or the perception of present conditions. The results indicate a strong future orientation of (Dutch) foresters in planning and decision-making. This allows for strategic planning in a truly entrepreneurial style with uncertainty being interpreted as a valuable resource. However, the results also show that this future orientation is constantly contested by the importance which foresters are assigning to the ‘past’ for learning.     

Small-scale planted forests in Zululand,South Africa: an opportunity for appropriate development

Forestry in South Africa is sharply divided between commercially driven private enterprise which controls 1.3 million ha of plantation forests, and government and nongovernment organizations which promote a variety of social forestry programs. One area of crossover is that of small-scale (1–2 ha) commercial woodlots being promoted by private timber companies as an additional source of fiber for their pulpmills, but grown and managed by individual farmers. Inputs, such as plants and fertilizers, as well as expertise in the form of extension foresters, are provided by the company, whereas the farmers supply the land and the labor. The company guarantees to buy the timber at the time of harvest. Under such arrangements, the risk is spread between the farmers and the company; the farmers assume most of the risks of production, and the company takes on the marketing risks. The possibilities for appropriate and sustainable development do exist under such a program, but issues involving both ecological and social sustainability must be addressed. This paper suggests that four key characteristics are needed to achieve appropriate development in Zululand. These characteristics are participation, flexibility, empowerment, and commitment. When compared to the current arrangement, the company would have to make a fundamental paradigm shift to achieve these goals. However, the long-term support of the farmers, and ultimately more fiber in the mills, would be the reward. This revised version was published online in June 2006 with corrections to the Cover Date.     

Farmers’ reasoning behind the uptake of agroforestry practices: evidence from multiple case-studies across Europe

Potential benefits and costs of agroforestry practices have been analysed by experts, but few studies have captured farmers’ perspectives on why agroforestry might be adopted on a European scale. This study provides answers to this question, through an analysis of 183 farmer interviews in 14 case study systems in eight European countries. The study systems included high natural and cultural value agroforestry systems, silvoarable systems, high value tree systems, and silvopasture systems, as well as systems where no agroforestry practices were occurring. A mixed method approach combining quantitative and qualitative approaches was taken throughout the interviews. Narrative thematic data analysis was performed. Data collection proceeded until no new themes emerged. Within a given case study, i.e. the different systems in different European regions, this sampling was performed both for farmers who practice agroforestry and farmers who did not. Results point to a great diversity of agroforestry practices, although many of the farmers are not aware of the term or concept of agroforestry, despite implementing the practice in their own farms. While only a few farmers mentioned eligibility for direct payments in the CAP as the main reason to remove trees from their land, to avoid the reduction of the funded area, the tradition in the family or the region, learning from others, and increasing the diversification of products play the most important role in adopting or not agroforestry systems.